FinTech

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SEC Fines 2 RIAs $400K Over False Boasts About AI Capabilities

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Delphia (USA) and Global Predictions agreed to pay $400,000 in penalties for the false claims, the agency said.

Tech Stocks Left Out Of Rally Ease Fears A Bubble Is Building

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Money-losing tech companies that surged in 2020 fall this year.

How Bitcoin ETFs Boost Risk-Adjusted Returns

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Even small allocations to a bitcoin portfolio can improve returns, say these asset management firms.

AssetMark Sees Tech As Key To Success, CEO Says

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The company is devoting $60 million to its technology budget this year, CEO Michael Kim said.

RIAs Can't Explain How Their AI Works, SEC Official Says

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Even AI engineers have a problem conveying how the technology works, the regulator said.

Mark Casady Joins Foundation Source Board Of Directors

by FA Staff

Casady has been a leader in fintech and philanthropy for four decades.

Self-Reporting Off-Channel Violations Can Save Millions

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Self-reporting can reduce the financial penalties for off-channel communications violations.

Elon Musk Lawsuit Accuses OpenAI, Altman Of Breaching Humanitarian Mission

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The case marks an escalation in the one of the highest-profile clashes in the emerging field of AI.

Luma, Yieldstreet Expand Alts Partnership

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Luma Financial Technologies has expanded its relationship with Yieldstreet to offer alternative investment products to Luma's advisors.

RBC Adopts TIFIN AI Wealth Management Tool

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The AI program gives advisors clues to client financial events, TIFIN said.

A Master Class In FinTech Innovation

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Two fintech leaders discuss the dynamics of innovation.

Advyzon-Apex Team Up To Merge Client Service And Custody Platforms

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The integration promises to save RIAs time on task-switching, the firms say.

Don't Declare The Death Of The Yale Model Just Yet

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It would take a few more muted years to shake belief in a highly successful investment strategy.

Stock Markets Are Driving A New American Century

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The U.S.'s growing financial dominance may be making up for its declining influence in other realms.

Nearly Half Of Advisors Say They Want To Use AI, Survey Says

by FA Staff

Advisors say the technology could be useful for client communications and marketing.

SEC's Gensler Warns Public Companies Against Overblown AI Claims

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Companies from a range of industries have been advertising how they're harnessing AI to improve operations.

3 Steps To Thriving In Changing Markets

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Creating an agile business involves embracing change, using data and developing a high-performance culture.

Partnerships Between AI Firms And Militaries Will Grow At Expense Of Legacy Defense Contractors

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Generative artificial intelligence tools have the potential to serve valuable defense purposes.

GOP Senate Bill Seeks To Block SEC Rules On Advisor AI Use

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Sen. Ted Cruz called the SEC's proposal a "war on technology."

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